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In Re: Kurtis Roberts,
Respondent
STATE ETHICS COMMISSION
FINANCE BUILDING
613 NORTH STREET, ROOM 309
HARRISBURG, PA 17120-0400
File Docket:
X-ref:
Date Decided
Date Mailed:
FACSIMILE: 717-787-0806
WEBSITE: www,eth!c%pa.,QoM
19-007-P
Order No, 634-5
9/26/19
10/16119
Before: Nicholas A. Colafella, Chair
Mark R. Corrigan, Vice Chair
Roger Nick
Melanie DePalma
Michael A. Schwartz
Shelley Y. Simms
This is a final adjudication of the State Ethics Commission as to the alleged
delinquency and/or deficiency of Statement(s) of Financial Interests required to be filed
pursuant to Sections 1104 and 1105 of the Public Official and Employee Ethics Act ("Ethics
Act"), 65 Pa.C.S. § 1101 et sue.
The Investigative Division initiated these proceedings filing with the State Ethics
Commission and serving upon Respondent a Petition for CiviNenalties, An Order to Show
Cause was issued to Respondent. A Stipulation of Findings and a Consent Agreement
were subsequently submitted by the parties to the Commission for consideration. The
Stipulated Findings are set forth as the Findings in this Order. The Consent Agreement
has been approved.
19111111111101
1 Respondent Kurtis Roberts ("Respondent") is an adult individual who resides or
maintains a mailing address at [address redacted].
2. At all times relevant to these proceedings, Respondent has been an Elevator
Inspector with the Pennsylvania Department of Labor and Industry and as such,
Respondent has at all times relevant to these proceedings been a "public employee!'
as defined in Section 1102 of the Ethics Act, 65 Pa.C. .§1102.
3. Respondent., as a public employee, is subject to the Statement of Financial Interests
filing provisions of the Ethics Act.
4. Respondent failed to timely provide full financial disclosure as ed by the Ethics
Act. Respondent failed to time file a Statement of Financial required
for calendar
year 2017, which Statement o�Financial Interests was to be filed] by May 1, 201&
Reznondent has 1herefore violated Sections 1104 and 1105 of the Ethics Act, 65
Pa.6.S. §§ 1104, 1105.
5. By Notice Letter dated September 25, 2018, Respondent was served with Notice in
accordance with Section 1107(5) of the Ethics Act of the specific allegations against
Respondent concerning the above transgression. Said Notice Letter provided
Respondent an opportunity to avoid the institution of these civil penalty proceedings
b6 filingan accurate and complete Statement of Financial Interests for calendar year
2017 within twenty (20) days of the date of the Notice Letter. Respondent has failed
and/or otherwise refused to file a Statement of Financial Interests for calendar year
2017 so as to comply with the specific requirements of the Ethics Act.
Roberts, 19-007-P
Page 2
By Notice Letter dated November 5, 2018, Respondent was served with Notice in
accordance with Section 1107(5) of the Ethics Act of the specific allegations against
Respondent concerning the above transgression. Said Notice Letter provided
Respondent an opportunity to avoid the institution of civil penalty proceedings by
filin an accurate and complete Statement of Financial Interests for calendar year
201� so as to comply with the specific requirements of the Ethics Act.
7. Respondent failed to file a Statement of Financial Interests for calendar year 2017
with the State Ethics Commission by the deadlines imposed in the Notice Letters.
11. DISCUSSION:
As an Elevator Inspector for the Pennsylvania Department of Labor and Industry
,
Kurtis Roberts ("Roberts") was at all times relevant to these proceedings a "Public
emploge $) subject to the provisions of the Public Official and Employee Ethics Act ("Ethics
Act'), 5 Pa. C. S. § 1101 et seq.
Pursuant to Section 1104(a) of the Ethics Act, Roberts was specifically required to
file a Statement of Financial Interests for calendar year 2017 with the Pennsylvania
Department of Labor and Industry on or before May 1, 2018. Section 1104(a) provides,
§ 1104. Statement of financial interests required to be filed
(a) Public official or public employee. --Each public official of the
Commonwealth shall file a statement of financial interests for the preceding
calendar year with the commission no later than May I of each year that he
holds such a position and of the year after he leaves such a position. Each
public employee and public official of the Commonwealth shall file a
statement of financial interests for the receding calendar year with the
department, agency, body or bureau ii�_Ach he is employed or to which he
is appointed or elected no later than May 1 of each year that he holds such a
position and of the year after he leaves Such a position. Any other public
employee or public official shall file a statement of financial interests with the
governing authority of the political subdivision by which he is employed or
within which he is appointed or elected no later than May 1 of each year that
he holds such a position and of the year after he leaves such a position.
Persons who are full-time or part-time solicitors for political subdivisions are
required to file under this section.
65 Pa.C.S. § 1104(a).
The complete financial disclosure which Roberts as an Elevator Inspector for the
Pennsylvania Department of Labor and Industry was required to provide in the Statement
of Financial Interests form is statutorily mandated in detail at Section 1105 of the Ethics Act,
65 Pa.CS. § 1105.
Section 1 109(f) of the Ethics Act provides as follows:
§ 1109. Penalties
(f) Civil penalty, In addition to any other civil remedy or criminal
penalty provided for in this chapter, the commission may, after notice has
t
Mn served in accordance with section 1107(5) (relating to powers and
duties of commission) and upon a majority vote of its members, levy a civil
penalty upon any person subject to this chapter who fails to file a statement
of financial interests in a timely manner or who files a deficient statement of
financial interests, at a rate of not more than $25 for each day such
statement remains delinquent or deficient. The maximum penalty payable
under this paragraph is $250.
If oberts, 19-007-P
P 5-9—e T
65 Pa.C.S. § 1109ft
An application of Section 11 09(f) to this case establishes that this Commission has
the discretion to levy a maximum civil penal against Roberts for the delinquent Statement
of Financial Interests for calendar year 2017.
The prerequisite service of a Notice letter in accordance with Section 1107(5) was
satisfied. Roberts did not remedy the failure to comply with the Ethics Act although given
more than the usual grace period following Notice in which to do so.
The Investigative Division then instituted formal proceedings against Roberts by
filing with this Commission and serving upon him a etition for Civil Penalties. The
Commission Chair issued an Order to Show Cause, ordering Roberts to show cause why a
civil penalty should not be levied against him. The parties then filed a Stipulation of
Findings and Consent Agreement.
The parties propose that this case be resolved by: (1) this Commission finding that
Roberts failed to timely file a Statement of Financial Interests for the 2017 calendar year in
compliance with Section 1104(a) of the Ethics Act; (2) Roberts making payment of a civil
penalty in the amount of $250.00 in settlement of this matter by certified =ck or money
order pa
yable to the Commonwealth of Pennsylvania and forwarded to this Commission
withinthirty days of the issuance of the final adjudication in this matter, and (3) Roberts
filing a complete and accurate Statement of Financial Interests for calendar year 2017
within thirty days of the issuance of the final adjudication in this matter.
We believe that the Consent Agreement sets forth a proper disposition forthis case,
based upon our review of the totality of the facts and circumstances. Accordingly, we
approve the Consent Agreement that has been submitted by the parties.
We hereby find that Roberts, as an Elevator Inspector for the Pennsylvania
Department of Labor and Industry, failed to timely file a Statement of Financial Interests for
the 2017 calendar year in compliance with Section 11 04(a) of the Ethics Act, 65 Pa.C.S.
1104(a).
Per the Consent Agreement of the parties, we hereby levy one civil penaltagainst
Roberts in the total amount of $250.00 for Roberts' delinquent Statement of Financial
Interests for calendar year 2017.
To the extent he has not already done so, Roberts shall be ordered to make
I,
payment he aforesaid penalty in h amount of $250.00 by no later than the
0 0 i' 0'0t
i the e t a' m u 0�nd Order, by forwarding to this
date this
s adjudication a
f t af r sa civil
I'
thirtieth (3 th ) day after
the mailing
d of rt Commission
mm ii certified fi c y derin the amount
n of $250.00 made payable to
o Co ss on a erti ed heck r money or m u t
the Commonwealth of Pennsylvania, , fo r deposit in the State Treasury.
To the extent he has not already done so, Roberts shall be ordered to file a
complete and accurate Statement of Financial Interests for calendar year 2017 with the
Pennsylvania Department of Labor and Industry by no later than the thirtieth (30th) day after
the mailing date of this adjudication and r1r, with one copy forwarded to this
Commission for compliance verification purposes.
III. CONCLUSIONS OF LAW:
1. As an Elevator Inspector for the Pennsylvania Department of Labor and Industry,
Kurtis Roberts ("Roberts") was at all times relevant to these proceedings a "public
employee" SUblect to the provisions of the Public Official and Employee Ethics Act
("Ethics Act"), 65 Pa.C.S. § 1101 et sera.
2. Roberts, as an Elevator Inspector for the Pennsylvania Department of Labor and
Roberts, 19-007-P
Page 4
Industry, failed to timely file a Statement of Financial Interests for the 2017 calendar
year in compliance with Section 11 04(a) of the Ethics Act, 65 Pa.C.S. § 11 04(a).
3, Notice of the delinquency of Roberts' Statement of Financial Interests for calendar
year 2017 was previous[X, served upon him in accordance with Section 1107(5) of
he Ethics Act, 65 Pa.C.S. § 1107(5).
4. Based upon the totality of the circumstances in this case, a civil penalty in the total
amount of $250 . 00 is warranted.
In Re: Kurtis Roberts, File Docket: 19-007-P
Respondent Date Decided; 9/26/19
Date Mailed: 10/16/19
1 Kurds Roberts ("Roberts"), as an Elevator Inspector for the Pennsylvania
Department of Labor and Industry,failed to timely file a Statement of Financial
i Interests for the 2017 calendar year n compliance with Section 1104(a) of the Public
Official and Employee Ethics Act ("Ethics Act"), 65 Pa.C.S. § 11 04(a).
2. Per the Consent Agreement of the parties, we hereby levy one civil penalty against
Roberts in the total amount of $250.00 for Roberts' delinquent Statement of
Financial Interests for calendar year 2017.
3. To the extent he has not already done so, Roberts is ordered to make payment of
the aforesaid civil penalty in the total amount of $250.00 by no later than the thirtieth
(30th day after the mailing date of this Order, by forwardin to this Commission a
certified check or money order in the amount of $250.00 made payable to the
Commonwealth of Pennsylvania, for deposit in the State Treasury.
4. To the extent he has not already done so, Roberts is ordered to file a complete and
accurate Statement of Financial Interests for calendar year 2017 with the
Pennsylvania Department of Labor and Industry by no later than the thirtieth.(30th)
day after the mailing date of this Order, with one copy forwarded to this Commission
for compliance verification purposes.
5. Failure to comply with Paragraph 3 or 4 of this Order will result in the initiation of an
appropriate enforcement action.
BY THE COMMISSION,